PS+110N Module 2 Lesson 2 Federalism PDF

LESSON 2: AMERICAN FEDERALISM  FEDERALISM Federalism is an institutional arrangement creating relatively autonomous levels of government, each able to act directly on behalf of the people with the authority granted to it. FEDERALISM  ARTICLES...

LESSON 2: AMERICAN FEDERALISM  FEDERALISM Federalism is an institutional arrangement creating relatively autonomous levels of government, each able to act directly on behalf of the people with the authority granted to it. FEDERALISM  ARTICLES OF CONFEDERATION? ARTICLES OF CONFEDERATION  ARTICLES OF CONFEDERATION The Articles of Confederation, promoted a confederation of the states with very decentralized power concentrated at the state level and a weak central government. ARTICLES OF CONFEDERATION WAS THE ARTICLES OF CONFEDERATION SUCCESFUL? ARTICLES OF CONFEDERATION  ARTICLES OF CONFEDERATION The Articles were not successful, and the 1787 Constitutional Convention convened to make changes in our governmental structure. ARTICLES OF CONFEDERATION  ARTICLES OF CONFEDERATION Rather than tweaking the confederation structure, a third option was essentially invented–what we call today a federal system or federalism. The federal design divides power between multiple levels of government–often state and national. ARTICLES OF CONFEDERATION DUAL FEDERALISM? DUAL FEDERALISM  DUAL FEDERALISM dual federalism - the states and national government exercise exclusive authority in distinctly delineated spheres of jurisdiction DUAL FEDERALISM LAYER CAKE FEDERALISM Like the layers of a cake, the levels of government do not blend with one another but rather are clearly defined. DUAL FEDERALISM  DUAL FEDERALISM Two factors contributed to this conception of federalism: a. Supreme Court rulings blocked attempts by state and federal governments to step outside their jurisdictional boundaries. b. The prevailing economic philosophy at the time loathed government interference in the process of industrial development. DUAL FEDERALISM  POWERS OF THE STATES “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.” - Tenth Amendment, US Constitution POWERS WERE THE POWERS OF THE STATES WRITTEN IN THE ORIGINAL CONSTITUTION? POWERS  POWERS OF THE STATES The powers of the state governments were never listed in the original Constitution. POWERS  POWERS OF THE STATES The consensus among the framers was that states would retain any powers not prohibited by the Constitution or delegated to the national government. POWERS  POWERS OF THE STATES When it came time to ratify the Constitution, several states requested that an amendment be added explicitly identifying the reserved powers of the states. POWERS COOPERATIVE FEDERALISM? COOPERATIVE FEDERALISM  COOPERATIVE FEDERALISM A great deal of interaction occurs The ability of the federal and state governments to achieve their objectives often depends on cooperation. Law enforcement agents at the local and state levels work to bolster the national government’s efforts to ensure homeland security. COOPERATIVE FEDERALISM CAKE ANALOGY CAKE ANALOGY  CAKE ANALOGY Morton Grodzins coined the cake analogy of federalism in the 1950s The 1930s ushered in a new era of federalism he called “marble-cake federalism.” CAKE ANALOGY MARBLE CAKE FEDERALISM? CAKE ANALOGY  MARBLE CAKE FEDERALISM the national government, in addition to state governments, were all engaged in administering health, safety, income security, education, and welfare to state residents. CAKE ANALOGY  MARBLE CAKE FEDERALISM The boundary had completely blurred between intra-state and interstate commerce as a result of broad interpretation of the commerce clause coupled with expanded use of the elastic/necessary and proper clause. CAKE ANALOGY  MARBLE CAKE FEDERALISM There is a shared (overlapping or concurrent) powers had now become an integral part of contemporary U.S. federalism. CAKE ANALOGY POWERS OF CONGRESS DIVISION OF POWERS  POWERS OF CONGRESS ARTICLE I, SECTION 8 – 18 POWERS OF CONGRESS impose and collect taxes and duties foreign trade inter-state commerce naturalization common defense and general welfare of the US DIVISION OF POWERS  POWERS OF CONGRESS coinage and weights and measures promotion of science and other useful arts constitution of tribunals inferior to the supreme court declaration of war raising armies and making all laws necessary for the execution of these powers DIVISION OF POWERS PROHIBITED POWERS PROHIBITED POWERS  PROHIBITED POWERS FEDERAL GOVERNMENT STATE GOVERNMENTS 1.suspending a writ of habeas 1.making any alliance or treaty corpus with any foreign power 2.passing ex post facto laws 2.coinage 3.granting titles of nobility 3.maintaining armies 4.passing laws affecting religious 4.powers not give to the center beliefs of people in any way and forbidden to the states and abridging freedom of rest in the people themselves speech and press PROHIBITED POWERS SUPREMACY CLAUSE LAWS  THE SUPREMACY CLAUSE IF a state law clashes with a federal law found to be within the national government’s constitutional authority, the federal law is supposed to prevail. LAWS  THE SUPREMACY CLAUSE The supremacy clause does not intend to subordinate the states to the federal government; rather, it affirms that one body of laws binds the country. LAWS  THE SUPREMACY CLAUSE Recent and current administrations have actively chosen to ignore the supremacy clause–using prosecutorial discretion–not holding states or individuals accountable for violating federal/national laws. LAWS  PRIVILEGES AND IMMUNITIES CLAUSE LAWS PRIVILEGES AND IMMUNITIES CLAUSE The privileges and immunities clause of Article IV asserts that states are prohibited from discriminating against out-of-staters by denying them such guarantees as access to courts, legal protection, Z property rights, and travel rights. LAWS PRIVILEGES AND IMMUNITIES CLAUSE The clause has not been interpreted to mean there cannot be any difference in the way a state treats residents and non-residents. LAWS PRIVILEGES AND IMMUNITIES CLAUSE For example, individuals cannot vote in a state in which they do not reside, tuition at state universities is higher for out-of-state residents, and in some cases individuals who have recently become residents of a state must wait a certain amount of time to be eligible for social welfare benefits. LAWS  SOME ISSUES ABOUT FEDERAL v STATE LAWS LAWS TRADE LAWS LAWS  TRADE LAWS Another constitutional provision prohibits states from establishing trade restrictions on goods produced in other states. However, a state can tax out-of-state goods sold within its borders as long as state-made goods are taxed at the same level. LAWS MARIJUANA LAWS ABORTION LAWS SAME-SEX MARRIAGE LAWS  SAME-SEX MARRIAGE Thirty-seven states and the District of Columbia had legalized same-sex marriage prior to the Supreme Court ruling. In a landmark ruling issued in 2015, the U.S. Supreme Court ruled that the Constitution allows for same-sex marriage, effectively overturning remaining restrictions in place in states. LAWS  SAME-SEX MARRIAGE Most other states had enacted constitutional or statutory bans on same-sex marriage, known as "Defense of Marriage" Acts. LAWS  PHYSICIAN-ASSISTED SUICIDE (CNN) Physician-assisted suicide is legal in eight US states and the District of Columbia. It is an option given to individuals by law in the District of Columbia, Hawaii, Maine, New Jersey, Oregon, Vermont and Washington. It is an option given to individuals in Montana and California via court decision. Individuals must have a terminal illness as well as a prognosis of six months or less to live. Physicians cannot be prosecuted for prescribing medications to hasten death. LAWS DISTRIBUTION OF POWERS NATIONAL GOVERNMENT IMPLIED POWERS NATIONAL GOVERNMENT NATIONAL GOVERNMENT - Implied “to make all laws which shall be necessary and proper for carrying into the execution the foregoing powers, and all other powers vested by this constitution in the government of the United States, or in any department of officer thereof.” (Art. 1, Sec 8, 18) NATIONAL GOVERNMENT NATIONAL GOVERNMENT - Implied To coin money To raise and support the To conduct foreign military relations To establish post offices To regulate interstate To establish courts commerce inferior to the supreme To levy and collect taxes court To declare war To admit new states NATIONAL GOVERNMENT  NATIONAL & STATE GOVERNMENTS CONCURRENT POWERS NATIONAL GOVERNMENT NATIONAL & STATE GOVERNMENTS - Concurrent To levy and collect taxes To borrow money To make and enforce laws To establish courts To provide for the general welfare To charter banks and corporations NATIONAL & STATE GOVERNMENTS STATE GOVERNMENTS’ RESERVED POWERS STATE GOVERNMENTS STATE GOVERNMENTS – Reserved to the states To regulate intrastate commerce To conduct elections To provide for public health, safety, and morals To establish local governments To ratify amendments to the federal constitution To establish a state militia STATE GOVERNMENTS POWERS DENIED BY THE CONSTITUTION  NATIONAL GOVERNMENT To tax articles exported from any state To violate the Bill of Rights To change state boundaries NATIONAL GOVERNMENT NATIONAL & STATE GOVERNMENTS To grant titles of nobility To permit slavery To deny citizens the right to vote NATIONAL & STATE GOVERNMENTS  STATE GOVERNMENTS To tax imports or exports To coin money To enter into treaties To impair obligations of contracts To abridge the privileges or immunities or deny due process and equal protection of the laws STATE GOVERNMENTS STATUS OF STATES IN THE AMERICAN FEDERAL SYSTEM 1. states surrendered only partial sovereignty 2.states are free to exercise residuary powers without federal control 3.enjoyed legal equality as evident in equal representation in the senate and that the constitution clearly specified that this provision cannot be changed by amendments STATUS OF STATES  HOW DOES FISCAL FEDERALISM LOOK LIKE IN THE US? FISCAL FEDERALISM FISCAL FEDERALISM: How are the people’s dollars distributed? Federal, state, and local governments depend on different sources of revenue to finance their annual expenditures. FISCAL FEDERALISM FISCAL FEDERALISM: How are the people’s dollars distributed? Two important developments fundamentally changed the allocation : ⚬ First, the ratification of the Sixteenth Amendment in 1913 authorized Congress to impose income taxes without apportioning it among the states on the basis of population, a burdensome provision that Article I, Section 9, had imposed on the national government. This change significantly increased the federal government’s ability to raise revenue and spend it. FISCAL FEDERALISM FISCAL FEDERALISM: How are the people’s dollars distributed? Two important developments fundamentally changed the allocation : ⚬ Second, The regulation of federal grants–transfers of federal money to state and local governments. FISCAL FEDERALISM FISCAL FEDERALISM: How are the people’s dollars distributed? These transfers, which do not have to be repaid, are designed to support the recipient governments, but also to encourage them to pursue federal policy objectives they might not otherwise adopt. The expansion of the federal government’s spending power has enabled it to transfer more grant money to lower government levels, which has accounted for an increasing share of their total revenue. FISCAL FEDERALISM FEDERAL GRANTS-IN-AID CONDITIONALITIES state shall spend the money for the specific purpose for which it is granted state shall itself incur expenditure from its finances for the purpose in hand state shall establish suitable administrative agencies FEDERAL GRANTS-IN-AID CONDITIONALITIES FEDERAL GRANTS-IN-AID CONDITIONALITIES federal government will have the right to impose federal standards and regulations, federal inspection and federal audit of accounts. ⚬ federal government can withhold the grants if the state concerned does not meet the national standard ⚬ (acceptance of a grant means acceptance of a certain type of federal control over state autonomy) FEDERAL GRANTS-IN-AID CONDITIONALITIES  FISCAL ASPECT OF FEDERALISM National government returns nationally collected taxes thru: ⚬ Categorical Grants-in-Aid – for very specific programs or projects (agricultural extension programs, highway construction and maintenance, vocational education, maternal and child health, pollution control, conservation, recreation) FISCAL ASPECT  CATEGORICAL GRANTS-IN-AID MATCHING FUNDS – for many categorical grant programs, the state must “match” the federal funds. Some programs only require the state to raise 10% of the funds, whereas others approach an even share. EQUALIZATION – a method for adjusting the amount of money that a state must put up to receive federal funds that takes into account the wealth of the state or its ability to tax its citizens CATEGORICAL GRANTS  CATEGORICAL GRANTS-IN-AID PROJECT GRANT – an assistance grant that can be applied for directly by state and local agencies; established under a national program grant. Proper grants allow congress (and the administration) to bypass state governments and thereby to place the money directly where it is supposedly the most needed. CATEGORICAL GRANTS  CATEGORICAL GRANTS Categorical grants are federal transfers formulated to limit recipients’ discretion in the use of funds and subject them to strict administrative criteria that guide project selection, performance, and financial oversight, among other things. These grants also often require some commitment of matching funds. Examples are Medicaid and the food stamp program–categorical grants. CATEGORICAL GRANTS  CATEGORICAL GRANTS The national government favors using categorical grants to transfer funds to state and local authorities because this gives them more control and discretion in how the money is spent. In 2014, the federal government distributed 1,099 grants, 1,078 of which were categorical, while only 21 were block grants. CATEGORICAL GRANTS  FISCAL ASPECT OF FEDERALISM BLOCK GRANTS Federal programs that provide funding to the state and local governments for general functional areas such as criminal justice or mental health programs GENERAL GRANTS-IN-AID, OR REVENUE SHARING A program in which the federal government allocated funds to states and cities with virtually no strings attached. Recipient governments could use the funds in any way they saw fit. FISCAL ASPECT  BLOCK GRANTS Block grants come with less stringent federal administrative conditions and provide recipients more flexibility over how to spend grant funds. BLOCK GRANTS  BLOCK GRANTS Examples of block grants include the Workforce Investment Act program, which provides state and local agencies money to help youths and adults obtain skill sets that will lead to better-paying jobs, and the Surface Transportation Program, which helps state and local governments maintain and improve highways, bridges, tunnels, sidewalks, and bicycle paths. BLOCK GRANTS  BLOCK GRANTS Recipients of general revenue sharing faced the least restrictions on the use of federal grants. From 1972 to 1986, when revenue sharing was abolished, upwards of $85 billion of federal money was distributed to states, cities, counties, towns, and villages. BLOCK GRANTS FEDERAL GUARANTEES OF THE STATES FEDERAL GUARANTEES FEDERAL GUARANTEES OF THE STATES Respect for territorial integrity - no state can be made to lose its territory save by its own consent; no new state can be carved out of the existing states, unless the legislatures of the states affected accord their approval FEDERAL GUARANTEES FEDERAL GUARANTEES OF THE STATES Guarantee of a republican form of government - guarantees each state a republican form of government but as to the real meaning, the supreme court refused to pronounce its judgment on the matter FEDERAL GUARANTEES FEDERAL GUARANTEES OF THE STATES Protection against invasion and civil commotion – federal government to protect each of the states against invasion and on the application of the legislature or of the executive against domestic violence; in case of invasion, the federal government using the federal war power intervenes without waiting for request; for quelling domestic insurrection, the federal government intervenes only when the state authorities make a request to the central government or federal laws are violated or national property is endangered; the decision regarding federal intervention rests entirely with the American President FEDERAL GUARANTEES FEDERAL GUARANTEES OF THE STATES Obligation of states towards federal government – states are required to conduct elections to federal offices as the constitution does not make provision for a separate federal election machinery; members of the electoral college are elected in each state in a manner prescribed by the state legislature; senators are elected directly in each state; states can take initiative in preparing an amendment of the constitution. FEDERAL GUARANTEES DOCTRINE OF IMPLIED POWERS? FEDERAL GUARANTEES GROWTH OF FEDERAL AUTHORITY Supreme Court developed the doctrine of implied powers – provides that the constitution not only enumerated certain powers for the center but also gave all those powers implied in the enumerated ones; empowers the national government to “regulate commerce with foreign nations and among the several states.” From this clause, the Congress has derived the power to control all means of transport and communication. From the clauses giving the Congress the power to promote general welfare, it has derived the authority to pass social legislation like old age insurance schemes and other laws of this nature; through the powers of the Congress to impose and collect taxes and duties, the congress got the authority to establish and control exclusively the central bank of the US FEDERAL AUTHORITY GROWTH OF FEDERAL AUTHORITY Many amendments have increased the powers of the federal government. The 15th amendment gave the authority o judicial review to the supreme court over the states’ legislation. The 16th amendment authorized the congress to levy and collect taxes on income of all kinds whereas the original constitution had prohibited the central government to impose direct taxes FEDERAL AUTHORITY GROWTH OF FEDERAL AUTHORITY Congress passed laws which had widened its powers; President have issued rules and regulations in the exercise of their authority widening these powers – have taken powers without constitutional justification Growth of international relations and commerce has also enabled the federal government to widen its sphere of authority FEDERAL AUTHORITY GROWTH OF FEDERAL AUTHORITY The leadership of the united states of the western powers has placed unrestricted power in the hands of the federal government; in times of emergencies like economic depression, war, and cold war between the USSR and the USA, the people of the US look to the national government for solving all national and international problems in which the country is directly or indirectly involved. FEDERAL AUTHORITY GROWTH OF FEDERAL AUTHORITY The federal government makes grants-in-aid to state governments and even local bodies; 145 budget of states comes through these grants; naturally, the federal government reviews and examines the schemes and policies where the money is spent; the conditions generally laid down for the grants of financial assistance are as follows: ⚬ State shall spend the money for the specific purpose for which it is granted ⚬ State shat itself incur expenditure from its finances for the purpose in hand ⚬ State shall establish suitable administrative agencies FEDERAL AUTHORITY GROWTH OF FEDERAL AUTHORITY In return for the assistance, the federal government will have the right to impose federal standards and regulations, federal inspection and federal audit of accounts. the federal government can withhold the grants if the state concerned does not meet the national standard. This reflects that the acceptance of a general means acceptance of a certain type of federal control over state autonomy FEDERAL AUTHORITY GROWTH OF FEDERAL AUTHORITY There have come into existence many inter-state cum federal organizations of mutual consultation. These organizations help in evolving uniform policies under the direction of the federal government FEDERAL AUTHORITY END OF LESSON 2